Lo, Chi Yan 盧紫茵
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | ASA SECURITIES LIMITED | Rep | Dealing in futures contracts | 2010-09-29 | 2010-12-17 | Rep | Dealing in securities | 2010-09-29 | 2010-12-17 |
| 2 | BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2008-07-18 | 2009-10-14 |
| 3 | BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2008-07-18 | 2009-10-14 |
| 4 | CASH ASSET MANAGEMENT LIMITED | Rep | Asset management | 2006-02-10 | 2008-06-30 |
| 5 | CELESTIAL COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2006-02-10 | 2008-06-30 |
| 6 | CELESTIAL SECURITIES LIMITED | Rep | Advising on corporate finance | 2004-02-19 | Rep | Advising on securities | 2004-02-19 | Rep | Asset management | 2004-02-19 | Rep | Automated trading services | 2004-02-19 | Rep | Dealing in securities | 2008-06-30 | Rep | Leveraged foreign exchange trading | 2006-02-10 | 2008-06-30 |
| 7 | China Finance Holdings Limited | RO | Dealing in securities | 2012-05-18 | 2014-08-08 |
| 8 | CLC FUTURES LIMITED | RO | Advising on futures contracts | 2017-09-20 | 2019-03-20 | RO | Dealing in futures contracts | 2017-09-20 | 2019-03-20 |
| 9 | CLC SECURITIES LIMITED | RO | Advising on securities | 2017-09-20 | 2019-03-20 | RO | Dealing in securities | 2017-09-20 | 2019-03-20 |
| 10 | Finet Securities Limited | Rep | Dealing in futures contracts | 2011-05-31 | 2011-08-02 | Rep | Dealing in securities | 2011-05-31 | 2011-08-02 | RO | Dealing in futures contracts | 2011-08-02 | 2014-08-08 | RO | Dealing in securities | 2011-08-02 | 2014-08-08 |
| 11 | HOORAY SECURITIES LIMITED | RO | Dealing in securities | 2014-09-01 | 2017-09-13 |
| 12 | HUAJIN FUTURES (INTERNATIONAL) LIMITED | Rep | Dealing in futures contracts | 2019-04-04 | 2019-04-17 | RO | Dealing in futures contracts | 2019-04-17 |
| 13 | HUAJIN RESEARCH (INTERNATIONAL) LIMITED | Rep | Advising on securities | 2019-04-04 | 2019-04-17 | RO | Advising on securities | 2019-04-17 |
| 14 | HUAJIN SECURITIES (INTERNATIONAL) LIMITED | Rep | Dealing in securities | 2019-04-04 | 2019-04-17 | RO | Dealing in securities | 2019-04-17 |
| 15 | XinKong International Securities Limited | Rep | Dealing in futures contracts | 2010-02-23 | 2010-09-23 | Rep | Dealing in securities | 2010-02-23 | 2010-09-23 |
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